10.2.6  Non-Enforcement Pocket Commissions

Manual Transmittal

September 12, 2014

Purpose

(1) This transmits revised IRM 10.2.6, Security, Privacy and Assurance, Physical Security Program, Non-Enforcement Pocket Commissions.

Background

This IRM provides purpose, authorities, directives, and responsibilities for non-enforcement pocket commissions.

Material Changes

(1) This IRM was updated to reflect current organizational titles, terminology, references, citations, and to reorganize the material to provide clarity.

(2) IRM 10.2.6.5 addresses the establishment of one Area Processing Center (APC).

(3) All references to the enforcement pocket commissions have been removed from this IRM. Enforcement pocket commissions information is covered in IRM 9.11.3 Criminal Investigation, Fiscal and Personnel Matters, Investigative Property.

Effect on Other Documents

This IRM supersedes 10.2.6 dated September 6, 2013.

Audience

Servicewide

Effective Date

(10-01-2014)

Kevin Q. McIver
Director, Facilities Management and Security Services (FMSS)
Agency-Wide Shared Services (AWSS)

10.2.6.1  (09-06-2013)
Scope

  1. This section applies to the control and issuance of non-enforcement pocket commissions. Pocket commissions are an authorized form of identification media. Pocket commissions are designed to provide evidence of the holder's specific authority and responsibility when contacting the public outside of Internal Revenue Service (IRS) facilities and/or conducting US Government business with federal, state, local or foreign officials as authorized.

10.2.6.2  (09-12-2014)
Definitions

  1. Form 4689, Pocket Commission Non-Enforcement, the paper used to print pocket commissions.

  2. Document 13094, Holder Responsibility Training for Credentials

  3. Form 13716-B, Non-Enforcement Pocket Commission Qualification and Request

  4. Form 14398, Pocket Commission Memento Request

  5. Form 14436, Receipt for Pocket Commission and Acknowledgement of Training

  6. Form 14445, Request to Add/Remove/Modify Authorized Non-Enforcement Pocket Commission Holders Listing, the form used by the BOD representatives to request add, remove, or modification of a pocket commission title/series.

  7. Form 14579, Pocket Commission Retention or Release, the form used by the employee or manager to request the Area Processing Center (APC) to hold or return a pocket commission for extended leave, detail or temporary promotion over 120 days

  8. APC - Area Processing Center. The APCs were located in Andover, MA and Kansas City, MO. In mid 2014 the APCs were combined into one location in Memphis, TN. The APC is responsible for issuing non-enforcement pocket commissions (PC) and for maintaining and safeguarding non-enforcement pocket commission supplies.

  9. Authorized Non-Enforcement Pocket Commission Holders Listing - The job series, position description number, organizational title list for eligible employees that may hold a non-enforcement pocket commission

  10. AWSS - Agency-Wide Shared Services

  11. BOD representative - Business Operating Division employee responsible for reviewing the listing of authorized holders of non-enforcement pocket commissions

  12. ERC - Employee Resource Center

  13. ICAM - Identity Credential and Access Management

  14. FMSS - Facilities Management and Security Services

  15. SAMC - Situation Awareness Management Center

10.2.6.3  (09-12-2014)
Responsibilities

  1. The Chief, Agency-Wide Shared Services (AWSS), is authorized to prescribe identification media for use within the IRS.

  2. The Director, Facilities Management and Security Services (FMSS), is responsible for oversight of the planning, developing, implementing, evaluating, and controlling of the pocket commission aspect of the servicewide Identification Media Program.

  3. The Chief, Identity Credential & Access Management (ICAM), is responsible for planning, developing, implementing, evaluating, and controlling the pocket commission program.

  4. IRS managers are responsible for:

    1. Determining if an employee whose position/job title is on the authorized list of pocket commissions is eligible to hold a pocket commission based on his or her assigned job duties.

    2. Coordinating with the BOD representative to request non-enforcement pocket commissions 120 days prior to expiring, for their authorized employees from the Area Processing Center (APC) via OS GetServices through the Employee Resource Center (ERC).

    3. Recovering non-enforcement pocket commissions from their employees who no longer meet the criteria to hold a pocket commission per IRM 10.2.6.8; or employees who are suspended, on extended leave, transfer, change position/title, change their name or separate from the IRS.

    4. Requesting a pocket commission be held for employees on extended leave, detail or temporary promotion for more than 120 days. Form 14579, Pocket Commission Retention or Release must be completed.

    5. Requesting an employee's pocket commission be returned. The APC will return the pocket commission to the employee no later than fifteen (15) workdays after Form 14579 is completed. If a pocket commission expires while in the possession of the APC the employee must request a new pocket commission.

  5. Authorized employees are responsible for:

    1. Safeguarding their non-enforcement pocket commission.

    2. Producing their commission at the request of either their manager or by system notification.

    3. Reviewing the required training, Document 13094, Holder Responsibility Training Credentials.

    4. Returning their non-enforcement pocket commission to their manager or the APC when they no longer meet the criteria in IRM 10.2.6.8.

  6. CI contractors are responsible for the same elements as IRS employees with one exception; CI contractors are not eligible to retain their non-enforcement pocket commissions as a memento.

10.2.6.4  (09-12-2014)
Authorizing Officials

  1. Signature authority on the non-enforcement pocket commission resides solely with the Commissioner, Deputy Commissioner, Operating Division Commissioner, Chief Counsel, and Chief Officers.

  2. BOD executives authorize the request on Form 13716-B Non-Enforcement Pocket Commission Qualification and Request for an eligible IRS employee to hold a non-enforcement pocket commission.

10.2.6.5  (09-12-2014)
Issuing Offices

  1. The Area Processing Center (APC), located at 5333 Getwell Rd, Memphis, TN 38118, is responsible for issuing the non-enforcement pocket commissions and for maintaining and safeguarding supplies. More information can be found regarding the APC site on the PSEP/ICAM/Pocket Commission web page. http://awss.web.irs.gov/PhysicalSecurity/Divisions/ICAM/Default.shtml.

10.2.6.6  (09-12-2014)
Description

  1. The non-enforcement pocket commission consists of a red leather folder, embossed in gold on the outside with the Internal Revenue Service seal, the words “United States Treasury Department, Internal Revenue Service” and a straight line border. Affixed to the inside are laminated upper and lower pocket commission inserts, Form 4689, Pocket Commission, Non-Enforcement, which have a common unique pocket commission serial number with a suffix of "A" ,

    1. The upper insert contains the printed legal name, the title of the employee

    2. The lower insert contains a description of the holder’s authority, employee's photograph, taken in accordance with IRM 10.2.5.5, Instructions for taking Photo for ID Cards, signature of the employee, certification of authority, date of issue, expiration date, signature of the authorizing official, and office code for the APC that issued the pocket commission

    3. 49 (Memphis, TN) - the current APC

    4. 08 (Andover) and 09 (Kansas City) - the former APC

10.2.6.7  (09-06-2013)
Authorized Use of Non-Enforcement Pocket Commissions

  1. The non-enforcement pocket commission must be used appropriately in connection with official duties. The identification can not be used to exert influence or obtain privileges, favors, or rewards. Any misuse of non-enforcement pocket commissions is a violation of the Rules of Conduct and a violation of federal law, Title 18, Part 1, Chapter 25 Subsection 499 of the US Code. Making a photocopy of any part of a non-enforcement pocket commission is a violation of federal law, Title 18, Part 1, Chapter 33, Subsection 701 of the US Code.

10.2.6.8  (09-12-2014)
Authorization, Criteria and Eligibility to hold a Non-Enforcement Pocket Commission

  1. In order to hold a non-enforcement pocket commission, the job series, classification title, or position description number and BOD must appear on the Authorized Non-Enforcement Pocket Commission Holders Listing and employees must meet the criteria listed in IRM 10.2.6.8.(2).

  2. Non-enforcement pocket commissions will be issued to eligible employees who meet the established criteria of:

    1. performing the type of work that requires face-to-face contact with the public outside of the Internal Revenue Service facilities on tax related matters,

    2. representing the IRS with law enforcement and/or emergency response officials, or

    3. conducting US Government business with federal, state, local or foreign officials as authorized.

  3. Non-enforcement pocket commissions will not be issued to employees merely to identify themselves for transaction of routine business.

  4. It is the responsibility of the BOD to provide the Director, ICAM with any changes to the Authorized Non-Enforcement Pocket Commission Holders Listing using Form 14445, Request to Add/Remove/Modify Authorized Non-Enforcement Pocket Commission Holders Listing. Changes to the Authorized Non-Enforcement Pocket Commission Holders Listing must be approved by the Chief Officer, Operating Division Commissioner, or Chief Counsel of the requesting organization prior to being sent to the Director, ICAM for concurrence and action.

  5. The BOD representatives shall review the Authorized Non-Enforcement Pocket Commission Holders Listing at least annually for accuracy and completeness.

10.2.6.9  (09-12-2014)
Training Requirements for Receipt of a Non-Enforcement Pocket Commission

  1. Prior to the receipt of a non-enforcement pocket commission, the employee will receive training of the commission requirements, i.e., issuance, official use, controlling, accounting for/safeguarding, returning and administrative penalties for possible misuse, abuse or misrepresentation as required in the Department of the Treasury Security Manual – TD P 15-71 Chapter V Section 5.10. Document 13094, Holder Responsibility Training for Credentials, must be read anytime a pocket commission is requested.

  2. Form 14436 Receipt for Pocket Commission and Acknowledgement of Training will be maintained at the APC to document the completion of training for each employee.

10.2.6.10  (09-12-2014)
Issuance Procedures of Non-Enforcement Pocket Commissions

  1. For individual non-enforcement pocket commission requests, managers will submit a request for authorized employees,120 days prior to expiring, by forwarding a Form 13716-B Non-Enforcement Pocket Commission Qualification and Request, to the appropriate BOD executive for approval. If approval is granted, the employee's manager will submit the request via OS GetServices.

  2. In the case of mass hiring requests, the BU hiring coordinator will submit Form 13716-B Non-Enforcement Pocket Commission Qualification and Request, for authorized employees and the new hire information spreadsheet to the PSEP ICAM Program Manager for review. The ICAM Program Manager will forward the forms and spreadsheet to the issuing APC. The new hire spreadsheet must contain, at a minimum, the following information:

    1. New Employee Orientation Location Site

    2. BOD Area

    3. Hiring Plan Identification /Hiring Plan Name

    4. Name of New Employee

    5. New Employee SEID

    6. New Employee Classification Title

    7. New Employee Job Series

    8. New Employee Standard Position Description number

    9. New or Replacement Non-Enforcement Pocket Commission

    10. New Employee Hire Status

    11. New Employee Hire Source

    12. New Employee Manager's Name/SEID

    13. New Employee Manager's Address

    14. New Employee Manager's Telephone Number

    15. New Employee Training begin and end dates

  3. The APC will retain Form 13716-B Non-Enforcement Pocket Commission Qualification and Request for their records. Any additional ID media information or requirements (i.e. building access cards etc.) can be found in IRM 10.2.4 Overview of ID Media.

  4. Each non-enforcement pocket commission will be assigned a unique serial number shown on both the upper and lower inserts.

  5. The signature of the employee will be scanned from Form 13716-B Non-Enforcement Pocket Commission Qualification and Request, and embedded in the lower insert of the non-enforcement pocket commission below the photograph by the APC.

  6. The date of issue and the expiration date are shown on the top right of the lower insert. Every non-enforcement pocket commission expires five years from the date of issue.

  7. The APC office code will be shown in the bottom left of the lower insert below the employee's signature.

  8. After the authorized signature authority is affixed, the inserts must be laminated in order to protect them from tampering. Then the laminated inserts will be attached to the red leather folder.

  9. When mailing a non-enforcement pocket commission to any IRS location, the shipping requirements covered in IRM 10.2.13.4.4.(1) must be used. Envelope E-20 To Be Opened By Addressee Only, may be used as the inner package and Envelope E-44 the Mailer Envelope, may be used for the outer package. Both envelopes should include the ship to and return address. Enclosed with the pocket commission must be a completed Form 3210 Document Transmittal, which shows the commission serial number and describes each item in the envelope. A traceable shipping method must be used to ensure arrival at the intended location for the recipient.

10.2.6.11  (09-12-2014)
Use of Pseudonyms on Non-Enforcement Pocket Commissions

  1. In accordance with the IRS Restructuring and Reform Act of 1998, Section 3706, IRS employees are authorized to utilize a pseudonym if adequate justification for the use is provided by the employee and its use is approved by the employee’s manager. IRS employees authorized to hold a non-enforcement pocket commission may use a registered pseudonym, in lieu of their legal name, to protect themselves from potential harassment by taxpayers.

  2. The non-enforcement pocket commission and identification card must contain the same name, legal or pseudonym.

  3. No employee may have more than one active commission in their possession. If an employee is issued a non-enforcement pocket commission using a registered pseudonym, that individual may not be issued any other commission. If an employee is already in possession of a non-enforcement pocket commission, the manager of the employee must recover the non-enforcement pocket commission prior to issuance of a non-pocket commission using a pseudonym and return it to the APC using the shipping requirements covered in IRM 10.2.6.10(9). The same process for issuance of a non-enforcement pocket commission using a pseudonym applies as covered in IRM 10.2.6.12.

  4. A non-enforcement pocket commission issued in a registered pseudonym may not be used as a retirement memento, for an honorary presentation, or for similar purpose. The non-enforcement pocket commission must be recovered by the employee's manager and sent to the APC for destruction.

  5. Requirements for the use of pseudonyms are covered in IRM 10.5.7, Security, Privacy and Assurance; Privacy and Information Protection, Use of Pseudonyms by IRS Employees.

10.2.6.12  (09-12-2014)
Reissuance of Non-Enforcement Pocket Commissions

  1. When an employee transfers to a new geographic location with the same job series and classification title, he/she will retain his/her non-enforcement pocket commission. If the employee transfers to a position that is not authorized to hold a non-enforcement pocket commission, the manager of that employee will recover the non-enforcement pocket commission prior to the employee’s transfer and return it to the APC using the shipping requirements covered in IRM 10.2.6.10(9) for reconciliation of ID media records and destruction of the commission. For guidance on creating a pocket commission memento, refer to IRM 10.2.6.14 .

  2. When an insert for a non-enforcement pocket commission becomes dirty or damaged, a name or position change occurs, the photograph fails to resemble the holder, or expires, the non-enforcement pocket commission holder’s manager will request a replacement. The holder's manager will complete Form 13716-B Non-Enforcement Pocket Commission Qualification and Request. The manager will submit for review to the designated BOD representative before obtaining executive signature and approval. The employee's manager will then submit an OS GetServices ticket with a scanned copy of Form 13716-B Non- Enforcement Pocket Commission Qualification and Request. The employee's manager will then send the pocket commission being replaced and a completed Form 3210 Document Transmittal, with the OS GetServices ticket number and the serial number of the non-enforcement pocket commission notated. This package is mailed to the APC using the shipping requirements covered in IRM 10.2.6.10(9). For guidance on creating a pocket commission memento, refer to IRM 10.2.6.14.

  3. When a non-enforcement pocket commission is lost or stolen, the employee must immediately notify his/her manager, the Area Processing Center, Treasury Inspector General for Tax Administration (TIGTA) and enter a lost/stolen report in the Situation Awareness Management Center (SAMC), and then follow the instructions for reissuance of the non-enforcement pocket commission.

  4. Each time a non-enforcement pocket commission is reissued, no matter the reason, the employee must complete the training requirement as covered in IRM 10.2.6.9 before receiving the commission.

10.2.6.13  (09-12-2014)
Disposition of Non-Enforcement Pocket Commissions

  1. Non-enforcement pocket commissions are the property of the United States Department of Treasury, Internal Revenue Service. Immediately upon transfer, suspension, extended leave for more than one year, or separation of an employee, the manager must ensure that the non-enforcement pocket commission is recovered. Once recovered, the non-enforcement pocket commission will be returned to the APC using the shipping requirements covered in IRM 10.2.6.10(9).

  2. The APC will hold the non-enforcement pocket commission for temporary actions (i.e. suspension or extended leave for more than 120 days). If the employee is on extended leave and the leave is expected to continue for more than one year, the APC will destroy the pocket commission.

  3. Non-enforcement pocket commissions should be destroyed in accordance with the records disposition schedule General Records Schedule 11, item 4, found in Document 12829 (4-2010) General Records Schedules. Non-enforcement pocket commission records must be maintained for at least three years from the date of the commission's destruction.

10.2.6.14  (09-12-2014)
Retention of Canceled Non-Enforcement Pocket Commissions

  1. The IRS will grant all requests for a pocket commission memento as long as the pocket commission is still in the control of the IRS as indicated in (a-d) below. If an employee is terminated or resigns from the IRS, a pocket commission memento will not be granted. Employees may request that a pocket commission be "retired" by completing Form 14398 Pocket Commission Memento Request:

    1. when it is in employee's legal name and the employee is retiring from the IRS

    2. when it shows the same series and classification title as that of the employee at retirement

    3. when it is the family of an employee who has died in the employ of the IRS

    4. when it is an employee with existing pocket commission who will not be authorized an updated pocket commission,

  2. To cancel, both parts of the non-enforcement pocket commission (upper and lower) will be perforated with the word "RETIRED" .

  3. After cancellation, the non-enforcement pocket commissions will be sent to the employee or the employee's manager according to the information shown on Form 14398; Pocket Commission Memento Request.

  4. Canceled non-enforcement pocket commissions may not be used for purposes of identification, but may only be used for display purposes as mementos.

  5. Issuance of new or replacement non-enforcement pocket commissions to retirees or persons previously separated from the IRS is not authorized. If a retiree loses or misplaces their canceled commission, a replacement commission will not be authorized.

  6. If an employee dies while employed by the IRS, the next of kin may wish to retain the non-enforcement pocket commission as a memento. The employee's manager may make the request for the next of kin. The employee's manager will recover the non-enforcement pocket commission to be canceled, complete Form 14398 Pocket Commission Memento Request, and send both to the APC using the shipping requirements covered in IRM 10.2.6.10(9).

  7. If the employee's manager or the employee's next of kin does not make a timely request and the recovered commission is destroyed, no replacement commission will be authorized.

  8. Canceled non-enforcement pocket commissions shall only be held by the retired employee or next of kin. To minimize the potential for compromise or abuse of canceled credentials, retirees or next of kin shall not sell or barter canceled commissions.

  9. Records will be maintained on all canceled commissions to ensure accountability. When no longer required, records must be destroyed in accordance with IRM 10.2.6.13(3).

10.2.6.15  (09-12-2014)
Accountability, Protection and Disposal of Records & Supplies

  1. The APC will maintain an electronic record of each pocket commission for a period of three years after the expiration date of the pocket commission, at which point, the record may be destroyed. The APC will update all current databases as applicable. Reports will be generated as required for research and accountability purposes. Form 13716-B Non-Enforcement Pocket Commission Qualification and Request, will be required for each non-enforcement pocket commission issued.

  2. The ICAM program office will conduct annual audits/reviews of the APC processes an records.

  3. All non-enforcement pocket commission supplies will be ordered by the ICAM program office and shipped directly to the APC. The APC manager will maintain an inventory record of all non-enforcement pocket commission supplies (paper stock, laminate, red leather folders). These items must be under the custody and control of the APC manager and distributed to the PC processors as needed. The non-enforcement pocket commission paper stock must be secured and locked in a security container, even if stored in a secured area, unless more protection is specified. Blank stock may not be maintained by any other organization.


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